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Senior Compliance Risk Consultant

Location: Bangalore, KA, India
Date Posted: Jan 8, 2020

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Job Description

Description

JOB SUMMARY:  Provide coordination of Line Unit regulatory and compliance program activities in Line Units with a higher level of regulatory compliance requirements, typically involving external reporting to a central bank regulator.  Responsibilities are managed in accordance with Enterprise policies and procedures and applicable local regulatory requirements.  Coordinate the required interface and reporting to the Financial Products Division (FPD) Compliance Department and assure timely and accurate completion and tracking of all compliance and reporting requirements involving governmental and related regulatory compliance in the Line Unit’s region of operations.  

 

PRINCIPAL DUTIES AND RESPONSIBILITIES:

  • Serves as Line Unit Anti-Money Laundering (AML) Coordinator in collaboration with the FPD Compliance Department to ensure compliance with Enterprise policies and procedures and local jurisdictional AML laws and regulations.
  • Serves as Line Unit Data Privacy Coordinator by working with the FPD Compliance Department to assure compliance with Enterprise policies and procedures and local jurisdictional data privacy laws and regulations.
  • Leads the coordination and support for other Line Unit compliance risks as required.
  • Implements required compliance processes and procedures, including maintaining documentation as required by Enterprise policy and procedure and where appropriate or other regulatory authorities. 
  • Ensures timely and accurate execution and filing of all compliance and related reports required by Enterprise and local regulators and authorities.
  • Works with various departments within the Line Unit in the development and maintenance of standard compliance internal control procedures, pursuant to policy and procedure requirements from Enterprise and local regulation.
  • Supports the monitoring process of the effectiveness of Enterprise and local regulatory policies and procedures, as appropriate.
  • Plans and organizes local compliance program communication and training as needed.
  • Coordinates and/or assists with internal and external auditors as necessary.
  • Supports the planning and execution of the Corporate Business Practice Review process as appropriate.
  • Participates in accomplishment of continuous improvement objectives for the department. Progress toward accomplishment of these is measured through maintenance of necessary measurements and analysis of associated data. Participates in the identification of problem areas and development of resolutions to address them.
  • Understands the Harassment policy of the company and is responsible of its application in all aspects of employment. 

Qualifications

JOB REQUIREMENTS:

SKILLS, ABILITIES, AND KNOWLEDGE:

  • Advanced knowledge of and advanced ability to prepare spreadsheets, presentations and reports using FPD software.

  • Advanced ability to effectively communicate and interact with diverse cultures and various levels within the company.

  • Thorough knowledge of Enterprise Compliance Policies and Procedures and local compliance and regulatory requirements.

  • Advanced knowledge of audit procedures.

  • Thorough knowledge and advanced ability to identify problems and recommend solutions.

  • Strong attention to detail and accuracy, highly organized, sense of urgency and follow-through.

  • Advanced organizational and presentation skills.

  • Advanced ability to compile and analyze metrics that measure process effectiveness.

  • Advanced knowledge and ability to research compliance issues.

  • Advanced ability to generate sound recommendations that effectively address control weaknesses. 

EDUCATION/EXPERIENCE:  A 4-year college or university degree in any of the business disciplines and a minimum of 6 years exempt experience in compliance, accounting, collections, customer services, credit, marketing, audit and/or related discipline is recommended. Equivalent experience may be substituted for education.

 

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Job Info

Jan 8, 2020

190008RM

India


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